Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

What communications must be filed with the Advertising Regulation Department?

April 26, 2017Advertising communications Department filed regulation

0

10 Posted

What communications must be filed with the Advertising Regulation Department?

1 Answer

0

10 Posted

Please note that all submissions to the Advertising Regulation Department must include a completed Firm Submissions Details form for each electronic filing (see question 16 below) or a Filing Cover Sheet (PDF 33 KB) for each hard copy filing. Rule 2210(c) requires that each material must be reviewed and approved by a registered principal. The name and title of the registered principal who approved it and the date the approval was given must be provided. Each FINRA member firm who has never filed material with the Advertising Regulation Department must file all advertisement at least 10 business days prior to first use for one year. This one-year period dates from the department’s receipt of the first submission.